ทีเ่กีย่วขอ้ง SEC Open data services E-enforcement • Corporate surveillance system - ความสมัพนัธบ์คุคล / นติบิคุคล - Fraud • AI-enforcement - พฤตกิรรมสรา้งราคา - พฤตกิรรมผดิปกติ • Off-site monitoring: - ผปก
Climate-related Risk by Asset Managers ภาคสมัครใจ Voluntary 1 สารบัญ บทนำ 2 1. ขอบเขตของคู่มือฯ 4 2. Climate risk มีควมสำคัญกับธุรกิจจัดกรลงทุนอย่งไร 5 3. Climate risk ประกอบด้วยอะไรบ้ง 7 4. กรอบคำแนะนำของ
| - |- Approval & Qualifications (Section 25) |- Business Conduct (Section 18) | - |- Licensed Companies | - |- Registered Companies | - |- Know Your Clients | - |- Risk Disclosure | - |- Books & Records
changing market environments.The proposed key changes include (1) adjustment of position risk calculation, (2) inclusion of diverse financial instruments such as equity, debts, investment units and trusts in
the Market and Organizational Risk Department, the Strategy and International Affairs Department, and the Research and Data Department, effective from 1 January 2024. Having joined the SEC since 1997
rules, conditions and procedures as specified in the notification of the Capital Market Supervisory Board by failing to put in place sufficient and effective exhaustively comprehensive risk management
procedures as specified in the notification of the Capital Market Supervisory Board by failing to put in place sufficient and effective system for managing mutual fund, market risk and liquidity risk of daily
Limited ("TMBAM eastspring") failed to order or act duty resulting in TMBAM eastspring failed to put in place sufficient and effective system for managing mutual fund, market risk and liquidity
SEC requests that business operators implement the BCP that must cover key work systems, including the trading system, the risk control system in compliance with the Net Capital Rules and the
the business operator according to the RLA (“Risk Level Assessment”) form, and submit the first results of such assessment to the SEC Office within 31 July 2023 However, KWI reported Risk Level